It is the policy (https://www2.fin.ucar.edu/policies/1-6-export) of UCAR to comply with all export laws and regulations of the United States. Export controls govern the transfer, distribution, disclosure and shipment of certain controlled information, software code and tangible items as well as the provision of certain services to Foreign Persons and countries. Although most of the work that UCAR undertakes involves fundamental research that may be shared freely with Foreign Persons, UCAR is occasionally involved in the export of controlled services, items and/or technology. UCAR does not accept work involving classified information.
Special attention must be given to proposed and active direct and indirect projects involving the Department of Defense, as these projects are much more likely to involve export controlled items and technical data than UCAR’s other sources of research funding.
These guidelines will help to differentiate between fundamental research and restricted projects that may contain export controls.
DEEMED EXPORT: "Deemed Export" is where a foreign national on United States (U.S.) soil may be exposed to, or have access in any manner to, an export-controlled item or export-controlled software or information.
EXPORT: "Export" means to send or take controlled tangible items, software or information out of the United States in any manner, to transfer ownership or control of controlled tangible items, software or information to a foreign person, or to disclose information about controlled items, software or information to a Foreign Person.
FOREIGN PERSON: A "Foreign Person" is anyone who is not a US person. A Foreign Person also means any foreign corporation, business association, partnership or any other entity or group that is not incorporated to do business in the U.S. Foreign Persons may include international organizations, foreign governments and any agency or subdivision of foreign governments such as consulates.
FUNDAMENTAL RESEARCH: "Fundamental Research" is basic and applied research in science and engineering where the resulting information is to be shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. The conduct, products, and results of Fundamental Research are to proceed largely unfettered by deemed export restrictions, meaning the results will be published and made freely available to the scientific community. Research whose results carry dissemination or Foreign Person access restrictions will not qualify as Fundamental Research for purposes of the export control regulations.
Because export regulations expressly recognize that Fundamental Research is excluded from deemed export controls or export licenses, other government approval is generally not needed before involving foreign nationals in Fundamental Research activity at UCAR. However, such research may give rise to export issues if the primary research is to be conducted outside of the U.S. or if it requires Foreign Person access to ITAR (International Traffic in Arms Regulations) export control-listed technical information or software code provided by third parties such as corporations, commercial vendors, or government collaborators.
U.S. PERSON: A "U.S. Person" is a citizen of the United States, a lawful permanent resident alien of the U.S. (a "Green Card" holder), a refugee or someone in the U.S. under political asylum protection or amnesty. U.S. Persons also include organizations and entities, such as universities, incorporated in the U.S. The general rule is that only U.S. Persons are eligible to receive controlled items, software or information without first obtaining an export license from the appropriate agency unless a license exception or exclusion is available.
III. Guidelines for Projects associated with the Department of Defense
- All proposals that involve work associated with the Department of Defense must clearly identify the proposed work either as Fundamental Research-free of restrictions, or not Fundamental Research. All restrictions must be clearly identified.
- All awards of funds (through a direct agreement or via interagency transfer through a Cooperative Agreement or prime contract) associated with the Department of Defense must be mutually agreed upon between a DoD representative or the prime funder and UCAR to be either Fundamental Research or not Fundamental Research, with all restrictions clearly identified. If a DoD representative or the prime funder verbally requests restrictions that are not otherwise embodied in any written agreement, UCAR personnel must report such restrictions to the UCAR Sponsored Agreements office, who will work with UCAR’s Export Compliance Program Manager to determine whether or not export licenses or a Technology Control Plan (TCP) are required to comply with such instructions.
- Prior to commencing work, export compliance training is mandatory for all UCAR staff, visitors, and contractors working at any UCAR/NCAR/UCP facility on a project that involves Department of Defense (DoD) funding, regardless of whether known export controlled items or technical data are involved. It is the responsibility of the PI, in coordination with Administrators and Export Compliance Coordinators, to ensure that export compliance awareness training has taken place prior to commencing work. Training must be refreshed annually.
- A Technology Control Plan (TCP) will be implemented for all DoD related projects that have restrictions. A Technical Assistance Agreement (TAA) may be required for DoD funded projects that contain restrictions. TAA is an agreement for the performance of defense services or the disclosure of technical data.
For more information: https://president.ucar.edu/counsel/export-compliance